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I-14.01 - Derivatives Act

Section 71
Disposition versions

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71. Dealers, advisers and representatives must avoid placing themselves in situations of conflict of interest such that their ability to serve their client impartially is affected.
If a conflict of interest cannot be avoided, before carrying out a trade on behalf of the client, they must
(1)  inform the client of the conflict of interest; and
(2)  take measures consistent with the principles of loyalty, fairness and transparency to ensure that the client’s interests are not affected by the situation.
2008, c. 24, s. 71.
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